FINRA Series6 : Investment Company and Variable Contracts Products Representative Examination (IR)

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FINRA Series6 Exam Syllabus Topics:

FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:

1. The stock of Nutrisystem, Inc. (NTRI) is selling for $17.70 when Miss Piggy places a limit order to buy the
stock at $17.65. During the period the order is open, NTRI falls to $17.60 and then increases to
$ 17.67.Which of the following statements is most likely to be true in this scenario?

A) Miss Piggy bought the stock for no more than $17.65 a share.
B) Miss Piggy bought the stock for $17.66 a share.
C) Miss Piggy bought NTRI at $17.67 a share.
D) Miss Piggy bought the stock for no more than $17.60 a share.

2. Giant Investments is introducing a new fund to its family of funds that it plans to name the Asian Fund.
Giant may do so only if:

A) the fund has a policy to invest at least 80% of its assets in investments that are economically tied to
Asian countries.
B) Giant may do so only if both B and C are true.
C) no other family of mutual funds has a fund with this name.
D) the fund's prospectus provides the specific criteria that will be used by the fund to select its
investments.

3. The Howey Decision did what?

A) provided for fixed annuities to be excluded from the definition of a security.
B) determined that certificates of deposit issued by a bank and insured by the FDIC did not qualify as
securities, as defined by the Securities Exchange Act of 1934.
C) defined an investment contract as any investment of money in a common enterprise with the
expectation of earning a profit from the efforts of others.
D) stipulated that all general partnerships were investment contracts and, therefore, securities, as defined
by the Securities Exchange Act of 1934.

4. Which of the following is not a money market security?

A) commercial paper
B) common stock
C) Treasury bills
D) negotiable certificates of deposit

5. Which of the following statements regarding the tax treatment of variable annuity contracts is false?

A) An investor who makes a withdrawal prior to having reached the age of 62 1/2 will be subject to a 10%
penalty on the withdrawal.
B) If an investor opts to receive regular payments of a specific amount-i.e., annuities-part of each
payment will be considered repayment of principal and will not be subject to taxation.
C) Earnings on the contributions to a variable annuity are not taxed during the accumulation phase.
D) If an investor opts to make a random, partial, lump sum withdrawal, the entire amount of the withdrawal
will be taxed as ordinary income to the investor.

Solutions: